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Registered Investment Advisors are facing increased regulatory scrutiny. In addition to laws that may be imposed by individual states, RIAs must comply with national statutes enacted by the Securities and Exchange Commission, including the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
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| Records of an RIA are subject to examination by the SEC at any time, so it is critical that books, records and statements are current and accurate. In addition, more extensive records must be kept when advisers have custody of client securities or funds. Our experience in the financial services industry and specifically handling the issues faced by Registered Investment Advisors makes us well equipped to handle your complex needs and reporting requirements. |
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Regulatory audits |
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Advise in conjunction with Company's legal counsel as to custody issues |
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Regulatory compliance including minimum net capital computation; and certificate required by Rule 206(4) - 2 under Investment Advisers |
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AIMR performance presentation |
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Agreed upon procedure letters for management fee payments and fund withdrawals for non-audit clients |
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Tax projections |
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